Employee Handbook

January 2021

Dear Research Foundation Employee:

Welcome to The Research Foundation for The State University of New York (RF). As a member of the RF family you are part of an organization whose mission is to support research and discovery at SUNY through efficient and skillful administration of sponsored projects and adept transfer and sharing of intellectual property for public benefit and economic growth.

As the largest most comprehensive university-connected research foundation in the country, the RF provides essential sponsored programs administration and innovation support services to SUNY faculty, students and staff who perform life-changing research in life sciences and medicine; engineering and nanotechnology; physical sciences and energy; social sciences; and computer and information. We manage SUNY’s research portfolio assisting with every step of the research grant process, allowing faculty, students and staff to focus on their work and ensuring compliance with SUNY, grant sponsor and government requirements.

While serving SUNY, we remain a separate non-profit education corporation. Since we are not part of the State of New York system, the RF has its own policies and procedures and manages its own independent employee benefits programs, compensation plans, affirmative action policies, and other matters that affect you as an employee.

The RF is committed to transparency, accountability and exemplary ethics. To that end, the RF may provide information about its finances, business decisions, relationships, employees, and other aspects of the RF’s operations. Disclosures about employees may include, but are not limited to, employee title, business address, years of service and salary information. Those disclosures will be managed through the RF’s Records Access Officer. Our Code of Conduct demonstrates our adherence to the highest ethical standards.

The RF website provides a vast range of resources that serve our SUNY faculty and campus customers and report about our business to our many audiences and stakeholders. Your Employee Handbook is one such resource that should be reviewed and relied upon regularly in the performance of your work.

Whether you are working on a sponsored award or other RF activity, you are an essential member of the RF team. Your contributions allow the RF to successfully move its mission forward.

Sincerely,

Jeff M. Cheek, Ph.D. Research Foundation President

Table of Contents About the Handbook ...... 6 Vision, Mission, Values ...... 8 What Is the Research Foundation? ...... 9 Employee Assistance ...... 9 Working at the Research Foundation ...... 9 Introduction to Your Job ...... 9 Conditions of Employment - Employment-at-Will...... 10 Code of Conduct ...... 10 Employment Eligibility ...... 11 New Employee Orientation Session ...... 11 Standard Workweek/Time and Attendance ...... 11 Time Reporting ...... 12 Travel ...... 12 Breaks and Meal Periods ...... 12 Breaks for Nursing Mothers ...... 13 Personnel File...... 13 Disclosure of Employee Information under Freedom of Information Law ...... 13 References...... 14 Workplace Issues...... 14 Equal Employment Opportunity Practice ...... 14 Preventing Harassment in the Workplace ...... 16 Resolving Allegations of Discrimination, Harassment, and Retaliation Complaints ...... 17 Prohibition against Retaliation ...... 17 Progressive Discipline Policy ...... 17 Drug-Free Workplace Policy ...... 18 Conflict of Interests ...... 18 Nepotism ...... 19 Gifts to Employees from Non-RF Sources ...... 19 RF Confidential Information Policy ...... 19 Intellectual Property Policy ...... 20 Solicitation and Distribution ...... 21 Raising Concerns and Reporting Violations...... 21 Zero Tolerance for Retaliation ...... 22

Proper Reporting ...... 22 Rights and Remedies for Whistleblowers under the Federal Acquisition Regulation (FAR) ... 22 Safety and Security ...... 23 Information Security ...... 23 Data Security Guidelines ...... 24 Special Considerations Related to the Internet ...... 24 Electronic Communications...... 25 Research Foundation Property ...... 25 Workplace Safety ...... 25 Workplace Violence ...... 26 Resolving Workplace Concerns ...... 26 Compensation ...... 27 Pay Transparency ...... 27 Salary ...... 27 Position Classification Policy ...... 27 Your Paycheck ...... 28 Direct Deposit ...... 29 Overtime ...... 29 Paid Time Off & Leave ...... 30 Paid Time Off (PTO) ...... 30 Paid Time Off Sick ...... 30 Paid Time Off Vacation and Personal ...... 31 Holidays ...... 31 Leave for Service in the Uniformed Services ...... 31 Jury Duty ...... 32 Cancer Screening Leave ...... 32 Voting Time Leave...... 32 Blood Donation Leave ...... 32 Bone Marrow Donation ...... 32 Crime Victims/Witness Leave ...... 32 Volunteer Emergency Responder ...... 33 Personal Leave of Absence ...... 33 Child Care Leave of Absence ...... 33 Family and Medical Leave ...... 33

New York State Paid Family Leave ...... 34 Benefits ...... 36 Benefits for All Employees ...... 36 Workers’ Compensation Insurance ...... 36 New York State Disability Benefits ...... 36 Unemployment Insurance ...... 37 RF Ride Commuter and Parking Benefit...... 37 International Travel Assistance...... 37 New York College Savings Program ...... 37 Benefits for Regular and Postdoctoral Employees ...... 38 Benefits for Summer Employee ...... 38 Benefits for Graduate Student Employees...... 38 Benefits for Undergraduate and Hourly Student Employees ...... 38 Other Services Offered ...... 39 Employee Assistance Program (EAP) ...... 39 Communications ...... 39 Bulletin Boards ...... 39 Contacts ...... 39

Acknowledgement

About the Handbook

The information contained in this handbook is presented as a guide for employees of The Research Foundation for The State University of New York (“RF”). This easy reference handbook provides as much information as possible about the RF’s policies, procedures and guidance, and benefits. It is an introduction to the RF, our vision, mission and values, and what you can expect from us and what we expect from you.

We believe employees are key to our long-term success and understand the importance of a positive working environment. A positive environment is accomplished by maintaining, communicating and adhering to the RF's policies. The policies create a positive, productive and meaningful work environment, where teamwork is the norm and pride is evident. RF policies also enhance our culture of compliance. They ensure that our day-to-day actions and behaviors are consistent with the RF’s purpose and strategy.

Please understand that this handbook only highlights RF policies, procedures and guidance, and benefits for your education. Employees are expected to read and familiarize themselves with the RF’s policies and procedures, which are all available on the RF Website. In order to retain necessary flexibility in the administration of policies and procedures, the RF reserves the right to make revisions without notice. In the event of conflicts or differences between the wording of the policies themselves, and the summaries of this handbook, the terms of the policies will govern.

This handbook also summarizes benefits currently available to our employees. In the event of conflicts or differences between the wording of the benefit plans themselves, and the summaries of this handbook, the terms of the benefit plan will govern.

The RF and/or the plan administrator have the sole discretion to determine eligibility for benefits and to interpret and administer these plans. The RF reserves the right to change, revise or terminate, or change the terms and conditions of any of the benefits discussed in this handbook without advance notice.

Do not consider this handbook your only source of information about the RF and your job. In fact, we want you to make every effort to learn as much as possible about the policies, procedures and objectives applicable to your job and function through your manager and fellow employees.

The RF will strive to keep you informed and updated on new policies, benefits, organization information, and other important news through meetings, communications and via the RF Web site.

Remember, if you have a question concerning any of the information contained in this handbook, please consult with your supervisor, your operations manager, the campus office that handles human resources matters or the central office of Human Resources at (518) 434-7080.

The information contained in this handbook is not a contract and does not alter the at-will employment relationship and both you and the RF may terminate the employment relationship at any time, unless the terms and conditions of your employment are subject to a Collective Bargaining Agreement (“CBA”). This handbook supersedes all prior handbooks and written or verbal guidance, promises or assurances, except as provided herein. The RF reserves the right to add, supplement, modify or abolish any personnel policies or handbooks without notice and in its sole discretion.

Employees covered under a CBA should also refer to the CBA applicable to their job title and work location for additional terms and conditions of employment. This Handbook supplements your CBA and any matter not contained in your CBA is governed by RF’s policies and procedures. To the extent the provisions of this Handbook, or any other RF policy or procedure are inconsistent with the CBA’s terms, the terms of the CBA will govern.

Vision, Mission, Values

Vision The Research Foundation partners with SUNY to make it the best place for faculty, students and staff to research, innovate, and solve the world’s most pressing problems.

Mission The Research Foundation for SUNY provides talent, services, and technology that empower SUNY to research, innovate, and transfer discoveries that transform the world’s knowledge economy.

Values In carrying out its mission, the RF values:

• Service • Learning • Agility • Transparency • Diversity • Innovation • Integrity

The Strategic Plan and Mission, Vision, and Values may be found on the RF website.

The Research Foundation is committed to Diversity and Inclusion.

What Is the Research Foundation?

The RF is the largest, most comprehensive university-connected research foundation in the country. It exists to serve the State University of New York (SUNY) by providing essential administrative services that enable SUNY faculty to focus their efforts on research, scholarship and students, to advance life-changing research and innovation in every scholarly and scientific discipline – from life sciences and medicine; engineering and nanotechnology; physical sciences and energy; and social sciences to computer and information sciences.

The RF mission is to provide talent, services, and technology that empower SUNY to research, innovate, and transfer discoveries that transform the world’s knowledge economy.

The RF supports SUNY with a common set of people, technology and processes that enable faculty to write and submit grant proposals to agencies, foundations and companies; to establish contracts and manage funding that is awarded to run campus-based research projects; to protect and commercialize intellectual property created within those projects; and to promote transparency and accountability throughout the process.

The RF is a private non-profit educational corporation that is tax-exempt under Internal Revenue Code (IRC) Section 501(c) (3). Employee Assistance

The RF strives to provide excellent customer service through comprehensive, integrated support to our employees. Each campus has either an HR office or an office that administers RF policies and procedures and provides day-to-day services in coordination with the campus operations manager. These services include recruiting staff, processing appointments to payroll, providing orientation programs, assisting in enrolling and receiving benefits, administering salary and leave policies, maintaining employee records and implementing equal employment opportunity procedures, in addition to other services.

For more information on the RF policies and procedures at your location and the services available to you as a RF employee, please contact your campus office that handles RF human resource matters. You may also contact specific subject matter experts at the RF’s central office for additional assistance, using the contacts page on the RF website. Working at the Research Foundation

Introduction to Your Job Whether you are a new employee or an experienced member of the RF team, your performance on the job contributes to the successful functioning of sponsored program administration and innovation support services.

RF employees can be found in administrative offices, at archaeological digs in Central America, in medical research labs or in the classrooms of third world countries. Whatever specific job you

are doing, you are representing yourself, the RF sponsored project or administrative position for which you work, and the entire RF organization.

A positive, cooperative, self-motivated, courteous and professional attitude is an essential element of every position. While different positions have different areas of responsibility, we all need to work as a team, and we expect each employee to pitch in as necessary.

Since ground rules vary depending on your job and location, ask your supervisor for the proper work rules to follow. If you are working in an environment where there is frequent contact with customers and guests from outside the corporation, the RF encourages you to maintain a professional appearance with proper dress attire.

Conditions of Employment - Employment-at-Will Employment with the RF is on an at-will basis, meaning the employment relationship can be terminated at any time by the employee or the employer. An employee-at-will relationship means there is no specified length of time the employee or the employer expects the employment relationship to last.

Employees who are subject to a Collective Bargaining Agreement (“CBA”) are not subject to RF’s Employment-at-Will policy, and the terms and conditions of the CBA apply.

Accordingly, the employment relationship can, in general, be terminated at any time by either party. This RF policy of at-will employment may be revised, deleted or altered only by a written employment agreement signed by the RF President, or by an applicable CBA.

Code of Conduct Our collective commitment to the highest ethical standards starts with each individual’s complete review and understanding of the RF Code of Conduct.

All Research Foundation Employees and Representatives are expected to: • Read and be familiar with our Code of Conduct; • Act in accordance with our Code of Conduct and comply with its requirements; • Be safe, ethical, and act in a manner consistent with applicable laws, rules, regulations, and RF policies, values, and goals; • Ask questions; • Report concerns if you become aware of violations; and • Cooperate fully when responding to an audit, review, request for records, or investigation. In addition, Managers, Supervisors, and other Research Foundation Leaders must: • Lead by example, be a positive role model and support your team in a respectful and inclusive environment; • Encourage others to find their voice, speak up without fear of retaliation, and allow others to be heard; • Listen to concerns and respond appropriately; • Do not tolerate and promptly report discrimination, retaliation or harassment;

• Help others understand what is expected of them; and • Equitably enforce RF policies.

To help you make good decisions when doing your job, the RF Code of Conduct and its 10 Pillars should be your first point of reference. For more information, refer to the RF Code of Conduct.

Employment Eligibility The RF complies with the Immigration Reform and Control Act of 1986, as amended, and other federal laws that require employers to verify that all employees are authorized to work in the United States, regardless of citizenship. All new employees are required to complete an Employment Eligibility Verification form (Form I-9) and produce documents establishing identity and authorization to work at the time of hire.

As a federal contractor, the RF also participates in the E-Verify system. E-Verify is a web-based system that uses information obtained on the I-9 Form to verify employment eligibility. See the RF Employment Eligibility Policy for more information.

Please contact your campus office that handles RF human resources matters or Human Resources at central office for additional information.

New Employee Orientation Session Each campus office holds an orientation session for new employees soon after they are hired.

This orientation session demonstrates the collegial atmosphere of the RF and introduces the positive employee relations environment in which you should work. Generally during this orientation, you will learn about employee benefit programs, human resource policies and other information that supports you at the RF.

In addition, during your new employee orientation session and on an ongoing basis during your career, your supervisor is the best initial source of information if you have questions regarding job duties, policies and procedures that must be followed in the workplace, and the use of facilities, equipment and supplies. You can also find background information about the RF in the About Us section on the RF Web site.

Standard Workweek/Time and Attendance The RF has established a workweek period that extends from Saturday at 12:00 a.m. to Friday at 11:59 p.m. Within this workweek period, the RF has established either a 37.5-hour or a 40-hour standard workweek as the basis for full-time employment (1 full time equivalent [FTE]).

Your supervisor will inform you of the hours for your standard workweek and will notify you of any changes in the standard workweek. Your supervisor will also establish and inform you of the hours you will work each day. It is important for the normal conduct of business that you work as scheduled.

For more information, please review the RF Standard Workweek Policy.

Time Reporting RF employees must accurately complete time reporting documents. If you are a nonexempt employee, you will complete either an hourly or biweekly attendance report (timesheet) that documents each hour you worked. This will ensure that you are paid overtime if you are eligible. If you are an exempt employee, you will complete an exception report for each calendar month. Rather than recording each hour worked, daily exceptions to time worked are recorded on this report.

Nonexempt timesheets are due at the end of each pay period and exempt reports are due at the end of each month. Time records must be signed by both you and your supervisor. You must certify at the time of submission that each time record that it represents a complete and accurate reflection of the hours worked during the applicable period. Employees who inaccurately report their time or falsify their time records are subject to disciplinary action up to and including termination of employment.

For more information, please review the RF Time Reporting Policy.

Travel If you travel on official RF business and your expenses are authorized, you will be reimbursed for expenses in accordance with the RF Travel Handbook. The RF Travel Handbook is a comprehensive document designed to provide information on all policies, procedures, and responsibilities related to RF-related business travel. This information governs the use of travel funds from all sources, including sponsored funds, administrative funds, and agency accounts. RF funds must only be used for business travel undertaken in connection with:

• the performance of valid RF operational or administrative functions. • sponsored programs administered by the RF.

Travel costs are generally allowable when they are directly attributed to specific work on a sponsored project. The RF retains the right, in its sole discretion, to deny reimbursement for any expense it deems disallowable under the terms outlined in the RF Travel Handbook. In addition, there is medical, safety, and travel information available to you on the International Travel Website. For more information on the Travel policy, contact your operating location office responsible for travel reimbursement. If additional assistance is needed, contact the Finance Office at central office. Anyone traveling on RF business should review the RF Travel Handbook.

Breaks and Meal Periods The RF provides unpaid meal periods to eligible employees and allows for the scheduling of rest breaks during the course of a workday. The RF recognizes the benefit of meal periods and rest breaks and understands the need of employees to attend to personal needs during the work day.

The RF will provide an unpaid meal period to employees working more than six hours in a day, of not less than a half hour and no more than one hour, to coincide with a midday or evening

meal. Employees must take at least a half hour meal period each day they work six hours or more and must not perform any work during their meal period. Employees working less than six hours a day will be eligible for rest breaks as they are permitted in their respective departments. If you work outside of normal business hours different rules may apply. Please contact your RF campus Human Resources office for additional information.

The provision of rest breaks will be left to the discretion of each department head, vice president, or functional leader. Generally, the RF will allow for up to two scheduled 10-minute rest breaks per day for full-time employees, one in the morning and one in the afternoon, and will allow part-time employees one rest break period during their shift. Rest break schedules may be revised or suspended at any time, at the sole discretion of the supervisor, based on business needs.

Employees may not unilaterally extend their authorized meal or break periods. Any unauthorized extension of a meal or break period may result in disciplinary action.

Breaks for Nursing Mothers Employees who are nursing are eligible for at least 20 minutes of break time every 3 hours for up to 3 years after the birth of a child to express breast milk. You may use scheduled meal or rest breaks, accrued leave time or work before or after your work shift to make up this time. Employees must give notice of intent to use this benefit, preferably before returning after a birth.

For more information, please review the RF Meal Periods and Work Breaks Policy.

Personnel File Your RF campus human resources office usually maintains your official personnel file, which is a permanent and confidential file and is the property of the RF. Upon request, current and former RF employees are generally permitted access to the information in their personnel file. A staff member in the human resources office will accompany you should you wish to review your file.

We want you to be aware that certain sensitive information may be withheld from inspection, except where such restrictions are prohibited by law. This sensitive information includes, but is not limited to, third-party references, confidential management documents or plans and information on security or criminal investigations.

In addition, any protected information, e.g. an information subpoena, about an employee that is maintained in any format may also be held in strict confidence, unless there is a legitimate business need or legal reason to provide it to another person or organization.

Disclosure of Employee Information under Freedom of Information Law The RF complies with New York’s Freedom of Information Law (FOIL) and provides, upon request, records within its possession.

While the organization is very sensitive to the disclosure of personal information, the RF may be required to provide certain employment-related documents. For example, FOIL may compel disclosure of basic employee information, such as name, title, work address, and salary.

There are certain exceptions to the FOIL disclosure requirement, and the RF will apply those exceptions where appropriate. Additionally, certain types of information (e.g., social security number, home address) are not subject to disclosure unless otherwise required by law.

Please note that personnel information may also be subject to disclosure in other circumstances (e.g., to law enforcement or governmental entities, during an administrative proceeding, or in litigation).

Employees can visit the RF Website or contact the Records Access Officer at [email protected] for more information regarding FOIL.

References All requests from prospective employers for references should be directed to your campus office that handles human resource matters. The RF will generally respond to reference requests by providing dates of employment and positions held. References given by RF employees are considered personal and not on behalf of the RF. If an RF employee provides a written reference, it cannot be on RF letterhead. Workplace Issues

Equal Employment Opportunity Practice The RF is an equal employment opportunity employer and prohibits discrimination based on race, color, religion, creed, sex (except where sex is a bona fide occupational qualification), sexual orientation, gender identity or expression, age (over 18), national origin or ancestry, citizenship, disability, military or veteran status, marital status, familial status, domestic violence victim status, predisposing genetic characteristics/genetic information, an employee’s or dependent’s reproductive health decision making, as well as any other trait protected by applicable federal, state, or local laws.

The RF will not tolerate unlawful discrimination in any employment practices, including, but not limited to, advertising, recruitment, hiring, promotion, demotion, transfer, compensation, training, discipline, and layoffs or separation from employment. Any employee who engages in discriminatory conduct will be subject to disciplinary action, up to and including termination of employment. Employees must report any discriminatory behavior immediately.

For more information, please review the RF Equal Employment Opportunity and Antidiscrimination Policy and the Resolving Discrimination, Harassment, and Retaliation Complaints procedure.

The RF is committed to a diverse and inclusive workplace, where each person is valued for his or her unique experiences, abilities, and viewpoints. Please read more about this Diversity and Inclusion Message on the RF Website.

To assure equal employment opportunities to qualified individuals with disabilities, the RF will provide reasonable accommodations to such individuals where needed during the application/hiring process or to perform the essential functions of their positions, except where doing so would pose an undue hardship. If you believe that you need a reasonable accommodation during the application/hiring process or to perform the essential functions of your position, you must notify your RF campus human resources office.

The RF will also provide reasonable accommodations to applicants and employees with a sincerely held religious belief where needed during the application/hiring process or to perform the essential functions of their positions, except where doing so would pose an undue hardship on the RF’s business or operations. If you believe that you need a reasonable accommodation for your sincerely held religious belief, you must notify your RF campus Human Resources office.

For more information on the RF equal opportunity policies and procedures at your location, please contact your RF campus human resources office or view the RF’s Equal Employment Opportunity and Antidiscrimination Policy. Please contact the operations manager at your campus or the campus RF human resources office if you would like additional information on the RF’s affirmative action policies, procedures and programs. You may also contact the RF’s central office of Human Resources for additional assistance.

In addition to the other forms of unlawful discrimination, the RF will not discriminate or take any retaliatory personnel action against an employee based upon an employee’s or dependent’s reproductive health decision making. Specifically, the RF will not: • Access an employee’s personal information regarding the employee’s or the employee’s dependent’s reproductive health decision making, including but not limited to, the decision to use or access a particular drug, device, or medical service, without the employee’s prior informed affirmative written consent; • Discriminate against or take any retaliatory personnel action against an employee with respect to compensation, terms, conditions, or privileges of employment because of the employee’s or dependent’s reproductive health decision making; or • Require an employee to sign a waiver or other document that denies the employee the right to make their own reproductive health care decisions.

An employee should bring any concerns relating to this policy to human resources. An employee may also bring a civil action in any court of competent jurisdiction and seek remedies including monetary damages such as back pay, benefits, liquidated damages, and reasonable attorneys’ fees, as well as injunctive relief and/or reinstatement. An employee may be entitled to a separate award of civil penalties if an employer retaliates against the employee by discharging, suspending, demoting, or otherwise penalizing an employee for: (a) making or threatening to make, a complaint to an employer, co-worker, or public body, that rights under this law have been violated; (b) causing to be instituted any proceeding under or related to this law; or (c) providing information to, or testifying before, any public body conducting an investigation, hearing, or inquiry into a violation of a law, rule or regulation.

Preventing Harassment in the Workplace The RF prohibits sexual harassment and harassment because of race, color, religion, creed, sexual orientation, gender identity or expression, age, national origin or ancestry, citizenship, disability, military or veteran status, marital status, familial status, domestic violence victim status, genetic characteristics/genetic information, an employee’s or dependent’s reproductive decision making, or any other trait protected by applicable federal, state, or local law. Any such harassment will not be tolerated.

Any employee who engages in harassing conduct will be subject to disciplinary action, up to and including termination of employment.

Sexual Harassment is defined as unwelcome conduct that is either of a sexual nature, or which is directed at an individual because of that individual’s sex when:

• Such conduct has the purpose or effect of unreasonably interfering with an individual’s work performance or creating an intimidating, hostile, or offensive work environment, even if the complaining individual is not the intended target of Sexual Harassment; • Such conduct is made either explicitly or implicitly a term or condition of employment; or • Submission to or rejecting of such conduct is used as the basis for employment decisions affecting an individual’s employment.

A sexually harassing hostile work environment consists of words, signs, jokes, pranks, videos, photographs, intimidation, or physical violence which are of a sexual nature, or which are directed at an individual because of that individual’s sex.

Sexual Harassment also consists of any unwanted verbal or physical advances, sexually explicit derogatory statements or images, or sexually discriminatory remarks made by someone which are offensive or objectionable to the recipient, which cause the recipient discomfort or humiliation, or which interfere with the recipient’s job performance.

Sexual Harassment also occurs when a person in authority tries to trade job benefits for sexual favors. This can include hiring, promotion, continued employment or any other terms, conditions, or privileges of employment. This is called “quid pro quo” harassment.

Sexual Harassment can occur between any individuals, regardless of their sex or gender. This policy applies to employees, paid or unpaid interns, and non-employees, including independent contractors, and those employed by companies contracting to provide services in the workplace. Harassers can be a superior, a subordinate, a coworker, or anyone in the workplace including an independent contractor, contract worker, vendor, client, customer, or visitor.

Prohibited harassment on the basis of race, color, national origin, ancestry, religion, disability, marital status, age, sexual orientation, gender identity or expression, citizenship status, status as a victim of domestic violence, or any other protected basis, includes behavior similar to sexual harassment, such as:

• Verbal conduct such as threats, epithets, derogatory comments, or slurs; • Visual conduct such as derogatory posters, photographs, cartoons, drawings, or gestures; • Physical conduct such as assault, unwanted touching, or blocking normal movement; and • Retaliation for reporting harassment or threatening to report harassment.

As a RF employee, you are required to avoid engaging in conduct that inappropriately interferes with your colleagues’ work performance or that creates an intimidating, hostile, or offensive work environment.

For more information, please review the RF Equal Employment Opportunity and Antidiscrimination Policy and Sexual Harassment Prevention Policy.

Resolving Allegations of Discrimination, Harassment, and Retaliation Complaints When a person believes that he or she has been the victim of discrimination or harassment or has observed discriminatory or harassing behavior, they should report their concerns using the procedure for Resolving Discrimination, Harassment, and Retaliation Complaints. The RF’s Sexual Harassment Prevention Policy includes procedures for reporting and investigating reports of sexual harassment in the workplace. You may also obtain copies of these procedures from your campus RF human resources or affirmative action office. Supervisors and managers who become aware of or observe any discriminatory, harassing, or retaliatory conduct must immediately report such conduct to their campus RF human resources, the campus operations manager or a human resources representative in Central Office. Failure to do so may result in disciplinary action up to and including termination of employment.

Prohibition against Retaliation The RF prohibits retaliation against anyone for reporting violations or potential violations of policy or misconduct, utilizing the procedure for filing a complaint for participating in an investigation of discrimination, harassment, or other misconduct, or engaging in legally protected activities. To the extent possible, the confidentiality of complaints will be maintained.

Employees who make intentionally false reports of alleged discriminatory, harassing or retaliatory conduct, or other violations will be subject to disciplinary action.

If you believe you have been subjected to retaliation, you must notify your campus RF human resources, your campus operations manager, a human resources representative in Central Office, or the RF’s Office of Compliance Services. Any employee who retaliates against an individual who reports under this policy or participates in an investigation will be subject to disciplinary action, up to and including separation of employment.

Progressive Discipline Policy The RF uses progressive discipline to address an employee’s work performance issues and/or inappropriate behavior, including non-compliance with RF policies and procedures. The intent of progressive discipline is to help employees correct their issue(s) to become successful, productive workers. Progressive discipline provides managers and supervisors with a consistent and fair process for handling disciplinary issues.

The RF may use any level or combination of progressive discipline steps, up to and including separation of employment, and may proceed directly to termination of employment under certain circumstances. All employees, including supervisors and managers, are subject to progressive disciplinary action.

For more information, please review the RF’s Progressive Discipline Policy and Involuntary Termination of Employment.

Drug-Free Workplace Policy The RF, as a federal contractor, is required to maintain a drug-free workplace.

In connection with the RF's drug-free workplace compliance efforts, please note the following requirements:

• Each employee is required to be given a copy of the RF’s Drug-free workplace Policy during the new employee orientation session. • Employees must, as a condition of employment, report any criminal conviction under a criminal drug statute for violations occurring on the RF premises or while conducting RF business. A report of a conviction must be made to the employee’s supervisor within five days of the conviction. • Within 30 days of the date the RF learns of any employee's conviction, it will discipline the employee, up to and including separation of employment. Any employee who is not terminated will be required to satisfactorily participate in and complete a drug abuse assistance or rehabilitation program.

The RF will make ongoing, good faith efforts to maintain a drug-free workplace by implementing the above requirements.

If you have any questions or need additional assistance regarding our drug-free workplace compliance efforts, contact the employee relations staff at central office or the campus RF human resources office.

For more information, please review the RF’s Drug-free Workplace Policy.

Conflict of Interests Board Members, Officers, and Employees must disclose all interests and activities, financial or otherwise, and those interests and activities of Related Parties, which may compromise, potentially compromise, or have the appearance of compromising the objective performance of their professional duties or responsibilities as an employee or representative of the RF. RF Board Members, Officers, and Employees may not have any interest in or engage in any outside activity that results in an unmanaged Conflict of Interest. A Conflict of Interest exists whenever a Board Member, Officer, or Employee is in a position to: • Disclose or use RF confidential material for personal gain; • Intentionally and illegally use the property, funds, or other resources of the RF for an unauthorized purpose; or

• Give reasonable basis for the impression that their professional judgement is likely to be compromised.

Nepotism Research Foundation employees must not have any involvement in the hiring, termination, or supervision of a spouse, domestic partner, significant other, family member, dependent, member of household, or business partner. Exceptions may be granted by an Operations Managers subject to an approved conflicts of interest management plan pursuant to the RF’s Conflict of Interest Policy.

Gifts to Employees from Non-RF Sources No Research Foundation Employee or Representative, shall, directly or indirectly: • solicit, accept, or receive any gift having more than a $15 value, whether in the form of money, service, loan, travel, lodging, meals, refreshments, entertainment, discount, forbearance or promise, or in any other form, under circumstances in which it could reasonably be inferred that the gift was intended to influence him/her, or could reasonably be expected to influence him/her, in the performance of his/her duties or was intended as a reward for any action on his/her part; or • permit the solicitation, acceptance, or receipt of any gift from any person doing business with, or contemplating a business relationship with the RF to a third party including a charitable organization, on such Employee or Representative’s designation or recommendation or on his/her behalf, under circumstances where it is reasonable to infer that the gift was intended to influence him. The Gifts to Employees from Non-RF Sources Policy governs RF Employees or Representatives whose primary workstation is the RF’s Central Office. Although the standards apply broadly to all RF Employees, if you are an RF Employees or Representatives working at a SUNY campus you must follow the specific requirements outlined in that campus’s local policy governing the acceptance of gifts and not this policy. For additional assistance, please contact your local ethics officer or counsel.

For more information, please review the Conflict of Interest Policy, Nepotism Policy, and Gifts to Employees from Non-RF Sources Policy.

RF Confidential Information Policy Employees with authorized access to confidential information stored on the RF network or in any media format must maintain this information, consistent with the requirements outlined in the RF Confidential Information Policy.

Confidential information includes any information that specifically identifies or describes an employee or an employee's protected health information; or RF organizational information, which if disclosed or released, would potentially expose the RF to legal, financial, competitive, or other non-beneficial risks.

Some examples of confidential information include, but are not limited to:

• Internal memos and letters; • Cost and financial figures; • Board of Director materials; • Employee health or educational records; • Employee personnel records; • Employee social security numbers and addresses and • Reports from consultants into the operations of the RF.

Employees are responsible for immediately reporting any suspected violation(s) of this policy or any other action which fails to protect the confidentiality of RF information to the manager/supervisor, department vice president/head, functional director, or RF operations manager/designee, as appropriate, at the campus location.

The RF’s Confidential Information Policy is not intended to interfere with an employee’s right to engage in activity protected by Section 7 of the National Labor Relations Act, or to discuss the terms and conditions of their employment.

A strong commitment to transparency is how we earn the trust and respect that is critical to our success. To that end, the RF may provide information about its finances; business decisions; relationships; employees; and other aspects of the RF’s operations. Disclosures about employees may include, but are not limited to, employee title, business address, years of service, and salary information. Those disclosures will be managed through the RF’s Records Access Officer at [email protected].

Intellectual Property Policy The RF provides intellectual property management and technology transfer services that fuel innovation and move ideas and inventions from inception to the marketplace. These services help SUNY and the RF protect, develop, fund, and market novel ideas or inventions by:

• Identifying commercially viable inventions made within the SUNY ecosystem; • Conducting technology assessments; • Protecting intellectual property with patents and copyrights; • Maintaining a portfolio of strong intellectual property assets; • Cultivating relationships with industry and inventor partners; • Providing businesses and investors with a portfolio of innovations that can be licensed or spun into start-up companies; and • Managing the licensing process.

Through its Intellectual Property Policy, the RF has adopted as its own SUNY’s Patents, Inventions and Copyright Policy, both of which are codified as state regulations at 8 N.Y.C.R.R. §335.28 and $335,29, respectively, as well as all related procedures and guidelines concerning such policies (collectively, the “RF IP Policies and Procedures”).

RF employees are required to comply with the RF IP Policies and Procedures, including by, among other things: (i) promptly disclosing any Intellectual Property (as defined in SUNY’s Patents and Inventions Policy) to their applicable campus technology transfer office (the “Applicable RF TTO”) using the Applicable RF TTO’s designated new technology disclosure form; (ii) cooperating with the RF, SUNY, and, to the extent applicable, the sponsor of any underlying research associated with such Intellectual Property, and (iii) execute any such documents as may be necessary to protect the subject Intellectual Property as directed by their Applicable RF TTO.

Solicitation and Distribution The Research Foundation’s guidelines on solicitation and distribution were established in order to maintain an environment free from distracting solicitation. As such, employees are not permitted to engage in solicitation or to distribute literature:

• during their work time or • at any other time if such distribution or solicitation interferes with other employees’ work activities.

The only exception is that the RF may authorize the solicitation of funds, goods, or services for charitable purposes.

You should be aware that persons not employed by the RF may not, without prior authorization solicit, sell, or distribute merchandise, services, or literature in RF work areas for any purpose at any time.

This policy is not intended to infringe upon your right to engage in activity protected under Section 7 of the National Labor Relations Act. For more information on these guidelines, contact your campus office that handles human resources matters.

Raising Concerns and Reporting Violations As Research Foundation employees and representatives, we have a responsibility to speak up if we believe someone may be engaged in improper conduct. Suspected violations of the law, our Code, or other RF policy, must be addressed as soon as possible—before significant consequences develop.

If you know of, or have good reason to suspect, an unlawful or unethical situation, a violation of Research Foundation policy, or believe you are a victim of prohibited workplace conduct, do not conduct your own investigation. Instead, report the matter immediately through any of the following channels: • Your supervisor, department head, or chair • Your campus RF human resources office • Your campus Operations Manager or Deputy Operations Manager • The RF’s Ethics Hotline • RF Corporate Human Resources

• RF Office of General Counsel • RF Office of Internal Audit • RF Office of Compliance Services • The RF President

Complaints or concerns may also be filed anonymously through the RF Ethics Hotline online at https://tinyurl.com/rfsunyethicshotline or by calling: 877-463-2179.

Zero Tolerance for Retaliation The RF will not tolerate the harassment or victimization of individuals who raise concerns or participate in RF investigations of potential violations of law or RF Policy. If you think that you or someone else has been threatened, intimidated, excluded from participation, humiliated, or treated inequitably due to reporting a complaint, participation in an investigation or review, or otherwise, report the matter through one of the channels listed above.

Proper Reporting Individuals are encouraged to report concerns regarding perceived misconduct. This does not mean you must be certain that a violation is taking place; you just have to believe that the information you are providing is accurate. It is a violation of the Research Foundation’s Code to knowingly make false accusations when reporting.

For more information please review the Fraud and Whistleblower Policy.

Rights and Remedies for Whistleblowers under the Federal Acquisition Regulation (FAR)

Employees are protected from reprisal for disclosure of, “information that the employee reasonably believes is evidence of gross mismanagement of a Federal contract, a gross waste of Federal funds, an abuse of authority relating to a Federal contract, a substantial and specific danger to public health or safety, or a violation of law, rule, or regulation related to a Federal contract (including the competition for or negotiation of a contract).1”

Pursuant to the FAR: “An employee of a contractor, subcontractor, or grantee may not be discharged, demoted, or otherwise discriminated against as a reprisal for disclosing the aforementioned types of information to:

(a) A Member of Congress or a representative of a committee of Congress. (b) An Inspector General. (c) The Government Accountability Office. (d) A Federal employee responsible for contract or grant oversight or management at the relevant agency. (e) An authorized official of the Department of Justice or other law enforcement agency. (f) A court or grand jury.

1 41 U.S.C. 4712, sec. 828(a) 22

(g) A management official or other employee of the contractor, subcontractor, or grantee who has the responsibility to investigate, discover, or address misconduct.”

An employee who initiates or provides evidence of contractor, subcontractor, or grantee misconduct in any judicial or administrative proceeding relating to waste, fraud, or abuse on a Federal contract or grant shall be deemed to have made a disclosure.

A whistleblower who believes that she or he has been discharged, demoted or otherwise subject to reprisal for a protected disclosure may submit a claim to the Inspector General of the sponsor agency within three years of the date on which the alleged reprisal took place. The Inspector General may order the RF to take action to abate the reprisal, award the complainant compensatory damages and/or costs and attorneys’ fees.

Please note: This right to file a complaint with the appropriate Inspector General is independent and distinct from the employee’s right to file a concern or complaint under the RF’s Fraud and Whistleblower Policy.

For more information on RF’s Intellectual Property Policy, SUNY’s Patents, Inventions and Copyright Policy, the disclosure process, or any other related matters please contact the RF’s Office of Industry and External Affairs at (518) 434-7061.

Safety and Security

Information Security To fulfill the mission of the RF, it is essential that authorized users have access to RF data (“RF Data”) and information technology resources (“RF Resources”) to accomplish tasks related to their jobs. Authorized users must use RF Resources and RF Data in a responsible manner. If your job-related duties require access to Confidential Information, including information regarding any proprietary or license technology, you must take extra precautions to protect the data, consistent with the requirements outlined in the RF Confidential Information Policy and the policy on Acceptable Use and Security of RF Data and Information Technology. .

Due to the level of risk that unauthorized access to, or loss of, RF Data poses to the RF and SUNY, users should take all reasonable precautions to mitigate the risk of such unauthorized access or loss. If you are unaware of the proper security procedures at your campus, ask your supervisor for assistance in learning these procedures. At a minimum, users must:

• Not share computer logon and password or personal information with anyone, including supervisors, immediate colleagues, or administrative support staff; • Not sign on with their account to grant others access to privileged resources; • Not use someone else’s ID and/or password; and • Change temporary passwords assigned by an administrator.

Employees must report suspected violation(s) of this policy to the appropriate person (supervisor/manager, RF operations manager/designee, or department vice president) at their 23

campus location. If the suspected violation involves an “electronic” breach of information, the operations manager/designee or department vice president and Office of Compliance Services must be notified per the RF's Notification Procedure for Electronic Breach of Information Security.

For more information regarding your responsibilities, protecting confidential information, mobile and remote access, or reporting violations, please review the RF Acceptable Use and Security of RF Data and Information Technology Policy.

Data Security Guidelines The RF takes steps to ensure that sensitive information remains confidential yet is available when needed. All records, data, and information (“information”) that are created in the course of business, including without limitation, e-mail, memoranda, spreadsheets, internet usage, and other documents or files, whether actual paper documents or in electronic form, are and remain the exclusive property of the RF.

The RF reserves the right to monitor the use, storage, and dissemination of such information, your RF or campus issued electronic mail, and an issued electronic device, such as your desktop computer, laptop, cellphone, etc., at any time and without advanced notice. More information is available in the RF’s Acceptable Use and Security of RF Data and Information Technology Policy.

In your work you will learn confidential information about the RF’s business. Every employee at the RF has a professional and ethical responsibility to treat this information as confidential and to ensure such information is not improperly disclosed.

Except as required in the performance of your duties for the RF, you may not use or disclose any confidential information and must, when you leave the RF, return all copies (including electronic copies) of documents, notes, computer disks, flash drives, external hard drives, etc. which contain such confidential information.

This policy is not intended to infringe upon your right to engage in protected concerted activity under Section 7 of the National Labor Relations Act, and to discuss the terms and conditions of your employment. For more information on these guidelines, contact your campus RF operations manager.

Refer to the RF Confidential Information Policy section in the handbook for information on how the RF may provide RF confidential information to outside parties.

Special Considerations Related to the Internet Employees should exercise caution when disclosing documents, employee information, including personal health information, social security numbers and addresses, spreadsheets, data or other information over the Internet and be sure to take appropriate measures to secure and protect data.

Any libelous statements, infringement of copyrighted materials, unlawful harassment, misrepresentations or commitments made via Internet communication could expose you and the RF to liability.

Access to and use of the Research Foundation’s network, computers, devices, internet, email, and other digital media and platform is for work purposes. Personal use of the internet should be minimized and needs to conform to the RF’s Acceptable Use and Security of RF Data and information Technology.

Electronic Communications The RF provides computer and telephone equipment and related facilities for the purpose of conducting RF business. The RF reserves the right to review electronic communications and information stored in a computer or exchanged over RF-provided systems, including without limitation e-mail, voice mail, and/or stored e-mail or voice mail messages, at the RF's discretion without prior notice. Use of RF-provided systems shall be considered consent to monitoring.

Employees are expected to conduct their electronic communications in the same professional and respectful manner as all other internal or external communications. Employees may not use RF computer facilities to conduct illegal activities of any sort or in violation of RF’s policies and procedures, including without limitation infringement of copyrighted materials or harassment.

When accessing the RF internal systems remotely, the same responsibilities and requirements apply as if you were working at the office and employees should take measures to ensure RF data is protected and secure. More information is available in the RF’s Acceptable Use and Security of RF Data and Information Technology Policy. Employees who violate this policy may be subject to discipline, up to and including separation of employment.

Research Foundation Property During your employment with the RF, you may be issued certain equipment to enhance your ability to perform your job. Such equipment may include, without limitation, a desktop or laptop computer, cell phone, smart phone or other technical devices, security access device, telephone, parking permit, ID cards, and other property (“equipment”). This equipment is owned by the RF. If your employment ends for any reason, you must return, in good condition and repair, all RF equipment in your possession on or prior to your separation date or as soon as practicable after your separation date. If the RF determines that a piece(s) of equipment is of de minimus value and the separating employee is interested in retaining the equipment, the RF may, in its discretion, transfer ownership of the equipment to the separating employee. Damage or theft of RF-issued equipment may result in discipline, up to and including separation of employment.

Workplace Safety As an employee, you have access to the RF location where you work. Access to your work location is for work purposes. For most employees, this access is usually limited on nights and weekends. For more information on this policy, please contact your campus operations manager or the campus RF human resources office.

If you become involved in an accident on the job, report it immediately to your supervisor and complete the accident report form provided by your supervisor. This report is the basis for correcting any safety hazards, complying with insurance requirements, and protecting employees from future injury. Should you have concerns about the safety of your work environment, discuss your concerns with your supervisor.

Workplace Violence The RF is committed to maintaining a workplace that is free from behavior that is considered harassing, abusive, disorderly, disruptive or violent.

Acts or threats of physical violence, including intimidation, physical harassment, and/or coercion, that involve or affect RF employees or that occur on RF or SUNY property or in the conduct of RF business off RF premises, will not be tolerated.

The RF’s Equal Employment Opportunity and Antidiscrimination Policy and Sexual Harassment Prevention Policy also contain important information for all RF employees and those acting on behalf of or conducting business with the RF about harassment.

This prohibition against threats and acts of harassment or violence applies to all persons involved in RF operations, including, but not limited to, RF employees and those acting on behalf of or working with RF employees, including temporary employees and independent contractors, and anyone else on RF property or conducting RF business off RF property.

The Resolving Workplace Concerns Procedure, the Resolving Discrimination, Harassment and Retaliation Complaints procedure and the Fraud and Whistleblower Policy are also available to all RF employees who feel that they or an RF coworker are victims of harassment and/or workplace violence.

If a manager or supervisor receives information that an RF employee has engaged in a threat or violent action, he or she should notify the RF human resources officer or the Office of Compliance Services so the appropriate policies and procedures can be followed. If there is an immediate threat to the health and safety of any individual, please contact law enforcement.

Retaliatory action against anyone who has made a complaint of workplace violence, who has reported witnessing workplace violence, or who has been involved in reporting, investigating, or responding to workplace violence is a violation of the RF’s guidelines. Those individuals found responsible for retaliatory action will be subject to disciplinary action, up to and including separation of employment.

Resolving Workplace Concerns We strive to provide an environment of open, honest dialogue and realize that you may occasionally have concerns about work rules or how you are treated on the job. To assist you and your supervisor in addressing these matters, the RF has established the Resolving Workplace Concerns Procedure. If you use this procedure, your concerns will be kept confidential to the extent possible and you will be protected from any type of retaliation by a manager or supervisor. 26

You may also obtain the procedure from your campus RF human resources office.

Compensation

Pay Transparency The Research Foundation, as a federal contractor, will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, (c) consistent with the Research Foundation’s legal duty to furnish information. (41 CFR 60-1.35(c)), or (d) as otherwise required by law.

The RF may not ask an applicant about his/her salary history information, including compensation or benefits, nor will the RF rely on an applicant’s salary history information as a factor in determining whether to interview or offer employment or in determining what salary to offer. Additional protections under local laws may also apply.

Salary The RF’s compensation guidelines are designed to provide you with a salary that is competitive with local and national market conditions. All positions are classified under specific titles and salary grades or ranges. This classification system reflects job relationships and salary equity. Pay increases occur within minimum to maximum ranges assigned to each job classification.

For additional information, refer to Salary Rules and Policies When Assigning Regular Employees.

Position Classification Policy The RF has established a Position Classification Policy for its employees for the purpose of maintaining salary and wage equity and for consistency in the treatment of its employees.

The RF makes every effort to ensure that each position is classified correctly; however, sometimes job assignments vary. If your work has changed significantly, discuss the matter with your supervisor.

Your supervisor can give you a copy of the job description for your specific position. You and your supervisor should also discuss asking your human resource office to review the position classification. That office has information about the standards used to determine the classification of your position.

Your Paycheck The RF’s pay cycle is biweekly, generally with a Friday pay date. Each payroll check reflects regular time worked during the two weeks through and including payday for all salaried nonexempt employees. Extra hours and overtime wages for salaried employees are paid on a two-week lag. Nonexempt employees paid on an hourly basis are generally paid on a two-week lag.

We make every effort to ensure our employees are paid correctly. Occasionally, however, inadvertent mistakes can happen. When mistakes do happen and are called to our attention, we will promptly make any correction that is necessary. Please review your pay stub on the Employee Self Service website each pay day to make sure it is correct. If you believe a mistake has occurred or if you have any question, please contact the office that handles RF Human Resources on your campus.

Your timesheet (for non-exempt employees) or exception report (for exempt employees) is used to determine payment for services performed and is required to be completed accurately and on a timely basis. It is a violation of the RF’s policy for any employee to falsify a timecard, or to alter another employee’s timecard.

For non-exempt employees, your timecard must accurately reflect all regular and overtime hours worked, any absences, early or late arrivals, early or late departures and meal breaks. When you receive each paycheck, please verify immediately that you were paid correctly for all regular and overtime hours worked each workweek. You should not work any hours outside of your scheduled workday unless your supervisor has authorized the unscheduled work in advance. Do not start work early, finish work late, work during a meal break or perform any other extra or overtime work unless you are authorized to do so and that time is recorded on your timecard. Nonexempt employees are prohibited from performing any “off-the-clock” work. “Off-the-clock” work means work you may perform but fail to report on your timecard. All time worked must be recorded. Any employee who fails to report or inaccurately reports any hours worked will be subject to disciplinary action, up to and including discharge.

If you are classified as an exempt salaried employee, you will receive a salary which is intended to compensate you for all hours that you may work for the RF. This salary will be established at the time of hire or when you become classified as an exempt employee. While it may be subject to review and modification from time to time, such as during salary review times, the salary will be a predetermined amount that will not be subject to deductions for variations in the quantity or quality of the work you perform.

You will receive your full salary for any workweek in which work is performed. However, under federal law, your salary is subject to certain deductions. For example, absent contrary state law requirements, your salary can be reduced for the following reasons in a workweek in which work was performed:

• Full day absences for personal reasons, including vacation. • Full day absences for sickness or disability,

• Full day disciplinary suspensions for infractions of safety rules of major significance (including those that could cause serious harm to others). • Family and Medical Leave absences (either full or partial day absences). • To offset amounts received as payment for jury and witness fees or military pay. • Unpaid disciplinary suspensions of one or more full days for significant infractions of major workplace conduct rules set forth in written policies. • The first or last week of employment in the event you work less than a full week.

Your salary also may be reduced for certain types of deductions, such as: your portion of health, dental or life insurance premiums; state, federal or local taxes, social security; or voluntary contributions to a 401(k) or pension plan.

In any workweek in which you performed any work, your salary will not be reduced for any of the following reasons:

• Partial day absences for personal reasons, sickness or disability. • Your absence because the facility is closed on a scheduled workday. • Absences for jury duty, attendance as a witness, or military leave in any week in which you have performed any work. • Any other deductions prohibited by state or federal law.

Please note: You will be required to use accrued vacation, sick, personal or other forms of paid time off for full or partial day absences for personal reasons, sickness or disability. However, your salary will not be reduced for partial day absences if you do not have accrued paid time off.

Direct Deposit The RF’s direct deposit program is available to all employees who want to participate. Employees can have all or a portion of their net pay directly deposited to any financial institution that is a member of the New York Automated Clearing House.

For additional information on this program, contact your campus office that handles human resource matters.

Overtime Employees will be classified as exempt or non-exempt employees. Non-exempt employees are eligible for overtime pay in accordance with applicable law and are required to complete a time sheet each pay period, accurately recording the hours worked each day during that period.

Overtime pay is calculated based on the RF’s workweek beginning Saturday at 12:00 a.m. and ending Friday at 11:59 p.m. Positions eligible for overtime pay are paid one and one-half times the regular rate of pay for all hours worked in excess of 40 in any workweek. Generally, overtime must be arranged with your supervisor in advance. Employees who work unauthorized overtime may be subject to disciplinary action up to and including separation of employment.

Exempt employees hold certain professional, administrative, and executive positions whose job classifications meet the federal and state requirement for overtime exemption. Exempt

employees are compensated on a salary basis, except where otherwise permitted by law, and are not eligible for overtime pay.

Human Resources will notify you if you are an exempt employee. If you are classified as an exempt employee, you will be required to complete a monthly leave report to verify that you worked as scheduled and to record any charges to leave credits.

Paid Time Off & Leave

The RF offers a variety of paid and unpaid leave many of which are included in this section.

Paid Time Off (PTO) The RF realizes that it is important for employees to have a healthy work-life balance, and has created and implemented a well-designed Leave Administration Handbook. The RF allows eligible employees to earn accruals for vacation, sick and personal time, and to take other types of leave such as holiday leave, military leave and leave without pay.

Eligible employees accrue paid time off based on position, classification and FTE. Unless there are special circumstances, an employee cannot take paid time off unless it is already accrued.

Employees assigned to the following student titles are not eligible to receive paid time off accruals:

▪ Research Project Assistant ▪ Project Instructional Assistant ▪ Research Aide ▪ Senior Research Aide ▪ Camp Counselor-Student

For additional information on eligibility for paid time off and how it is administered, you may contact your campus RF Human Resource office. Following are types of paid time off:

Paid Time Off Sick Employees are eligible to accrue PTO sick as of their first day of employment, unless they are: • assigned a student title(s): Research Project Assistant, Project Instructional Assistant, Research Aide, Senior Research Aide, or Camp Counselor – Student; or • assigned to an extra service appointment.

PTO sick is available for use upon accrual.

PTO Sick may be used to provide income replacement when absent from work due to mental or physical illness, injury, or health condition; for the diagnosis, care or treatment of an employee’s mental or physical illness, injury or health condition; or an employee’s need for medical diagnosis or preventative care. PTO Sick may also be used to care for a family member or bereavement if there is a death in the family. Sick time may also be used for issues related to 30

domestic violence or family offense. For additional information on expanded reasons related to domestic violence or family offense please contact your campus RF Human Resource office or refer to the Leave Administration Handbook.

Family member is defined as- an employee’s child, spouse, domestic partner, parent, sibling, grandchild or grandparent, the child or parent of an employee’s spouse or domestic partner and any person with whom the employee makes his/her home. Parent - a biological, foster, step or adoptive parent, or a legal guardian of an employee or a person who stood in loco parentis when the employee was a minor child. Child - a biological, adopted or foster child, a legal ward, or a child of an employee standing in loco parentis. (Note: for employees working in NYC, the definition of family member may be different for certain use of PTO sick).

PTO Sick time is not paid out upon separation of employment.

Paid Time Off Vacation and Personal Subject to managerial approval, PTO Vacation may be taken for rest and relaxation at employees' request. Personal time may be used with manager approval for absences due to pressing personal business and other similar circumstances cannot be taken care of other than during normal working hours.

Your eligibility to accrue and use Vacation and Personal PTO depends on the date you were hired, your status as a full-time or part-time employee, and position title. Your campus RF human resources office will provide you with additional details on leave accruals.

Upon separation from RF employment, eligible employees will be paid for up to 30 days of accrued unused Vacation PTO. All timesheets or exception reports must be submitted, and all PTO reconciled before payment can be made. If an employee is paid for workdays past the date of separation, those workdays may be charged as vacation time if the balance is available. Personal PTO is not eligible to be paid out upon termination of employment.

Holidays Generally, RF employees are eligible for 13 paid holidays which are designated as observed (your location is closed) or floating (your location is open) at their individual campus locations. If you are required to work on an RF holiday, you will be paid for your time and given a paid day off. Unused holiday time is not paid out upon separation of employment.

For a list of holidays at your campus location, contact your campus RF Human Resources office.

Leave for Service in the Uniformed Services Employees in the Armed Forces, National Guard, and military reserves will be provided with leave to fulfill their military obligations, including active duty, participation in drills and other equivalent training, reserve training, instruction, annual full time training duty, active duty for training or other annual training. Employees will be paid for up to 22 workdays or 30 calendar days, whichever is greater, during any one calendar year or any continuous period of ordered

military service. After paid leave is exhausted, you may choose to use accrued vacation, holiday or personal leave credit or be put on leave without pay for the period of your military duty.

You may be entitled to re-employment rights and retention of full seniority benefits for all prior service upon re-employment in accordance with state and federal law.

Temporary employees may not be eligible for reinstatement following military leave, and reinstatement may not be required for other employees in some circumstances.

As with other leaves of absence, failure to return to work or to reapply within applicable time limits may result in separation of employment.

Spouses of members of the armed forces who have been deployed during a period of military conflict are allowed ten (10) days unpaid leave when that employee’s spouse is on leave from the armed forces.

For additional information, on leave for service in the Uniformed Services please contact your campus RF Human Resources office.

Jury Duty If you are called to jury duty, you will receive the necessary time off with full pay to fulfill this civic obligation. You should request jury duty leave from your supervisor in advance and provide him or her with the necessary documentation (jury duty voucher).

The RF also allows time off for the following additional types of leaves:

Cancer Screening Leave The RF allows employees paid leave time to undertake screening for any type of cancer.

Voting Time Leave You may be allowed paid leave time in order to vote in federal, state or local elections, both primary and general elections if unable to vote outside of working hours.

Blood Donation Leave Employees will be paid for a reasonable amount of time for blood donation that occurs at or in connection with the campus location.

Bone Marrow Donation The RF provides unpaid leave to employees who seek to undergo a medical procedure to donate a bone marrow.

Crime Victims/Witness Leave The RF will provide unpaid leave to employees who may be a victim of a criminal offense or who is subpoenaed to attend a criminal proceeding as a witness or for certain other related reasons.

Volunteer Emergency Responder The RF provides employees unpaid leave to work as a volunteer emergency responder when a state of emergency is declared by the federal or state government.

For additional information on these types of leaves you may contact your campus RF Human Resources office or consult the Leave Administration Handbook.

Personal Leave of Absence You may be eligible for a personal leave of absence which may not extend past your appointment end date. Requests for personal leave without pay must be reviewed individually by your supervisor.

Child Care Leave of Absence Employees, regardless of sex, are entitled to leave without pay for childcare for up to six months immediately following the date of birth or adoption. Leave cannot extend beyond the period of appointment. The leave period includes the period of medical disability following childbirth, Family Medical leave and New York Paid Family Leave if applicable.

Family and Medical Leave The RF will grant family and medical leave in accordance with the requirements of applicable state and federal law in effect at the time the leave is requested. The following is a summary of the relevant provisions.

Eligible employees may receive up to a total of 12 workweeks (26 weeks for military caregiver leave) of unpaid leave during a 12-month period. To be eligible for family and medical leave benefits, you must:

• have worked for the RF for a total of at least 12 months • have worked at least 1,250 hours over the previous 12 months

Employees may:

• work at a location where the RF employs 50 employees or more within a 75-mile radius of your work location

Leave may be used for one or more of the following reasons:

• for the birth of a child or placement of a child with an employee for adoption or foster care • to care for an immediate family member (spouse, child, or parent) with a serious health condition • to take medical leave when the employee is unable to work because of his or her own serious health condition • a qualifying exigency that arises while a covered service member is on or called to active duty

• to care for a service member who has a serious illness or injury that was incurred in the line of duty while on active duty

Employees may take family and medical leave intermittently--which means taking leave in blocks of time, or by reducing their normal weekly or daily work schedule. Certain restrictions on these benefits may apply.

Please contact your campus office that handles RF human resources matters as soon as you become aware of the need for a family and medical leave. If you need family and medical leave, you may be required to provide:

• 30-day advance notice when the need for the leave is foreseeable • Medical certification from a health care provider (both prior to the leave and prior to returning to work) • Periodic recertification • Periodic reports during the leave

Failure to provide this information when requested may affect the eligibility for or timing of Family Medical Leave Act (FMLA) leave.

Family and medical leave is unpaid. However, the RF may require you to use or you may choose to use appropriate accrued paid time off.

The RF will maintain, for up to a maximum of 12 workweeks of family and medical leave (26 workweeks for military caregiver leave), any group health insurance coverage that you were provided before the leave on the same terms as if you had continued to work. In some instances, the RF may recover premiums it paid to maintain health coverage if you do not return to work following family or medical leave.

Under most circumstances, upon return from family and medical leave, you will be reinstated to your previous position, or to an equivalent job with equivalent pay, benefits and other employment terms and conditions. However, upon return from a family and medical leave, you have no greater right to reinstatement than if you had been continuously employed rather than on leave.

For additional information on these types of leave without pay, you may contact your campus RF Human Resources office.

New York State Paid Family Leave RF employees working 20 or more hours per week are eligible for coverage after 26 consecutive weeks of employment. Employees who work less than 20 hours per week are eligible after completing 175 days worked. Employees must work in New York State to be eligible for this benefit.

New York Paid Family Leave (PFL) provides job-protection and income replacement to eligible employees who need to be away from work for the following reasons:

• to take care of a seriously ill family member (spouse, domestic partner, child, parent, parent-in-law, grandparent, and grandchild); • to bond with a newborn, adopted, or foster child in the first 12 months after birth or placement; • or to attend to family issues related to a qualifying military deployment.

When practicable, employees must provide 30 days’ notice when the leave is foreseeable.

Employees may take New York PFL intermittently--which means taking leave in blocks of time, or by reducing their normal weekly or daily work schedule. Certain restrictions on these benefits may apply.

Please contact your campus office that handles RF human resources matters as soon as you become aware of the need for a New York Paid Family Leave. If you need family leave, you may be required to provide:

• 30-day advance notice when the need for the leave is foreseeable • Medical certification from a health care provider for the care of a family member • Certification of birth, adoption, foster care • Periodic reports during the leave.

Failure to provide this information when requested may affect the eligibility for or timing of New York PFL and applicable benefits.

The New York PFL benefit for 2021 is 67% of your average weekly wage (AWW), not to exceed 67% of the New York State AWW, currently $1,450.17, for a maximum of 12 weeks. The maximum annual weekly benefit for 2021 is $971.61.

Eligible employees may use appropriate accruals while on leave and should discuss this option with your campus Human Resources representative.

In accordance with state law, all employees will pay for the coverage through payroll deduction. The 2021 rate is 0.511% of weekly wages, capped annually at $385.34.

Employees whose appointment meets (or is expected to meet at the time of hire) the eligibility criteria cannot opt out of the program and payroll deductions. In rare circumstances, employees may opt out of the program if they will never meet the eligibility criteria. If you do not believe you have met, or will ever meet, the eligibility criteria listed above, then you may submit a waiver form to opt out of the program and payroll deductions. Waivers will be reviewed and approved by the campus Human Resources Department. If you opt out of payroll deductions and subsequently meet the eligibility criteria, then payroll deductions that were missed will need to be paid retro-active to December 1, 2017 or date of hire, whichever is later. The waiver form is located at https://www.ny.gov/sites/ny.gov/files/atoms/files/PFLWaiver.pdf.

The federal FMLA provides job-protected leave for many of the same reasons as PFL. Because the law shares many of the same requirements and definitions as the FMLA, in most cases the two leave of absence programs will be applied concurrently, NOT one after the other.

PFL will never run concurrently with New York State mandated disability benefits (DBL), which provide a benefit when you need to miss work because of your own disabling illness or injury. PFL only comes into play when you need to miss work to care for someone else. Eligible employees can use a maximum of 26 weeks PFL and disability in a 52-week period.

The RF will maintain any group health insurance coverage that you were provided before the leave on the same terms as if you had continued to work. In some instances, the RF may recover premiums it paid to maintain health coverage if you do not return to work following New York Paid Family Leave.

Under most circumstances, upon return from New York Paid Family Leave, you will be reinstated to your previous position, or to an equivalent job with equivalent pay, benefits and other employment terms and conditions. However, upon return from New York Paid Family Leave, you have no greater right to reinstatement than if you had been continuously employed rather than on leave. Benefits

Benefits for All Employees The RF offers a wide range of benefits to employees. The following benefits are available to all employees.

Workers’ Compensation Insurance Workers' compensation is insurance that provides cash benefits if you are unable to work because of an injury or illness directly caused by your job. It also provides medical care for workers who are injured or become ill as a direct result of their job. The RF pays the full cost for this insurance. If you are eligible for income replacement benefits, you will receive up to two- thirds of your average weekly wages, but no more than the maximum benefit set by the New York State Workers' Compensation Board. The average weekly wage is based on payroll records for the year prior to the date of disability or accident. Workers' Compensation benefits will continue until your physician approves your return to work. Contact your campus RF human resources/benefits office if you want to file a claim.

Employees who are injured or become ill as a direct result of their job must report it to your campus HR office as soon as reasonably possible. Failure to promptly notify the RF of your work-related injury or illness may result in a delay or denial in benefits.

New York State Disability Benefits The RF provides insurance coverage to replace a portion of your income when you are unable to work because of an illness or injury that was not caused by your job and pays the full insurance cost. There is no waiting period if eligibility was established with a previous employer.

Otherwise, coverage begins after 4 consecutive weeks of service for full-time employees or after 25 regular workdays for part-time employees. Benefits begin after a seven calendar day waiting period or after your sick leave exhausts, whichever is later. You are eligible to receive 50 percent of your average salary up to the maximum benefit established under the law (currently $170 per week). You can receive benefits while you remain disabled, up to 26 weeks. Contact your campus RF human resources/benefits office if you want to file a claim.

The RF has no involvement in, and does not make the determination as to whether an employee is entitled to New York State disability benefits.

Unemployment Insurance You are eligible to file a claim if you are involuntarily terminated from employment at the RF. The first week of unemployment is an unpaid waiting period. The RF pays the full cost of this benefit. The weekly benefit amount paid to you is based on your wages and a Department of Labor (DOL) formula. Benefits end when you are no longer unemployed or after 26 weeks have elapsed since the day you began receiving benefit payments, whichever occurs first. Contact your local New York State DOL office if you want to file a claim.

The RF has no involvement in, and does not make the determination as to whether an employee is entitled to unemployment insurance benefits.

RF Ride Commuter and Parking Benefit RF Ride allows all RF employees to pay for public transportation and parking expenses needed to commute to RF employment using pre-tax income. Your purchases are made by payroll deduction and no state or federal income tax, Social Security tax, or Medicare tax is owed on qualifying expenses. Contact your campus RF human resources/payroll office to enroll.

International Travel Assistance The RF provides International Travel Assistance insurance to RF employees who are traveling outside the country on official RF business, and pays the full cost of coverage. This includes worldwide emergency assistance, global security services, medical advice and referrals, emergency evacuation, and health care that is needed due to illness or injury during travel. If you will be traveling internationally on a sponsored program or other RF business, ask your campus RF benefits office for more information.

New York College Savings Program Employees may participate in the New York College Savings Program through direct deposit. Contributions are deductible from New York State gross income, and earnings are not taxed by state or federal government when used for qualifying educational expenses.

Additional benefits are offered based on your type of RF employment. A brief listing is provided below. Please refer to the following handbooks for more information, including eligibility requirements and employer-employee cost sharing:

- Benefits Handbook for Regular Employees (Includes Retirement Plan information for Summer Employees) - Benefits Handbook for Postdoctoral Employees - Graduate Student Employee Benefits Handbook

Benefits for Regular and Postdoctoral Employees You are a regular employee if you do not have a summer-only appointment, are not a full-time SUNY employee, and are not a full-time SUNY student working in an RF student title. Employees working at least 50 percent of full-time effort are eligible for the following benefits. Refer to the Benefits Handbook for details. - Health, Dental, and Vision care insurance - Pre-tax health, dental and vision insurance contributions - Health Care Flexible Spending Account for uninsured health, dental and vision expenses - Dependent Care Flexible Spending Account for child/dependent day care - Life insurance and Voluntary Short-term Disability insurance - Long-term Disability insurance (for full time employees only) - Basic and Optional Retirement Plans - Auto, homeowner’s and renter’s insurance discounts

Benefits for Summer Employee You are a summer employee if your RF employment is for a summer appointment only, and you are not a graduate or undergraduate student employee. This includes SUNY faculty who work on RF projects during the summer. - Basic and Optional Retirement Plans

Benefits for Graduate Student Employees You are a graduate student employee if you are a SUNY graduate student employed by the RF in an eligible RF student title and your work coordinates with your education and training, leading to the fulfillment of academic requirements. As a salaried graduate student, you may be eligible for the following benefits:

- Health, Dental, and Vision care insurance - Pre-tax health insurance contributions (which include dental and vision coverage) - Auto, homeowner’s and renter’s insurance discounts

Refer to the Graduate Student Employee Benefits Handbook for more information on eligibility.

Benefits for Undergraduate and Hourly Student Employees You are an undergraduate student employee if you are a SUNY undergraduate student employed by the RF in an RF student title and your work coordinates with your education and training, leading to the fulfillment of academic requirements. - No additional benefits

Note: The Affordable Care Act (ACA) requires large employers like the RF to offer health coverage to employees who average 30 hours per week for an extended period of time. However, undergraduate and other hourly paid students, even though they may work full-time during the

summer, will not be eligible for RF health coverage since their hours are limited to part-time during the academic year.

Other Services Offered

Employee Assistance Program (EAP) Many campus locations offer RF employees and their families’ assistance and confidential referral services for personal issues and concerns. For more information, contact your campus RF human resources office.

Communications The RF regularly sends various types of communications to keep employees and other stakeholders informed of RF business and SUNY achievement. Much of this information is posted and available on the RF Website, the RF portal or RF Facebook page.

Bulletin Boards Postings containing official notices on employee rights under various federal and state laws are displayed on bulletin boards at your campus location and at corporate headquarters.

These postings include, but are not limited to, information on equal employment opportunity, the Fair Labor Standards Act, the New York Labor Law, Occupational Safety and Health Administration Compliance, Workers’ Compensation, New York State Short-Term Disability, Family and Medical Leave Act, and New York State Unemployment Insurance.

If you do not know the location of the bulletin board for official RF notices, contact your campus RF human resources office. Contacts If you have any questions or suggestions about the Employee Handbook, please contact:

Central Office Human Resources (518) 434-7080 [email protected]